Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
Andres Vargas
ANDRES VARGAS, Andres VargasVargas
CRD#: 4388871
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 800 E COLORADO BLVD
PASADENA, CA 91101
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2005 - 2009 (4 years)2 FIRMS2009 - 2011 (1 year)2 FIRMS2023 - Present (1 year)BWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2001 - 2005 (3 years)BEMPIRE SECURITIES CORPORATION ... (CRD# 2826)2001 - 2001 (<1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2002 - 2005 (2 years)
License(s)

State Registrations

B
California 6/20/2023
IA
California 6/20/2023

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Arcadia, CA
Registered with this firm since 6/20/2023
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
800 E COLORADO BLVD, PASADENA, CA 91101
Arcadia, CA
Registered with this firm since 3/27/2023
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 10/23/2009 - 05/20/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES,, CA
B
 10/23/2009 - 05/20/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) LOS ANGELES, CA
IA
 01/14/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LOS ANGELES, CA
B
 01/14/2005 - 10/23/2009 BANC OF AMERICA INVESTMENT SERVICES, INC. (CRD#:16361) LOS ANGELES, CA
IA
 10/14/2002 - 01/04/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) NEWPORT BEACH, CA
B
 10/04/2001 - 01/04/2005 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) SAN FRANCISCO, CA
B
 06/13/2001 - 09/26/2001 EMPIRE SECURITIES CORPORATION OF SOUTHERN CALIFORNIA (CRD#:2826) EL SEGUNDO, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.